REG-BARCLAYS PLC Form 8.3 - NortonLifeLock Inc - Amendment.
08/10/2021 17:00
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Form 8.3 - NortonLifeLock Inc - Amendment.
FORM 8.3 - Amendment to Sale
PUBLIC OPENING POSITION DISCLOSURE/DEALING DISCLOSURE BY
A PERSON WITH INTERESTS IN RELEVANT SECURITIES REPRESENTING 1% OR MORE
Rule 8.3 of the Takeover Code (the “Code”)
1. KEY INFORMATION
(a) Full name of discloser: Barclays PLC.
(b) Owner or controller of interest and short
positions disclosed, if different from 1(a):
(c) Name of offeror/offeree in relation to whose NORTONLIFELOCK INC
relevant securities this form relates:
(d) If an exempt fund manager connected with an
offeror/offeree, state this and specify identity of
offeror/offeree:
(e) Date position held/dealing undertaken: 06 October 2021
(f) In addition to the company in 1(c) above, is the discloser making YES:
disclosures in respect of any other party to the offer? AVAST PLC
2. POSITIONS OF THE PERSON MAKING THE DISCLOSURE
If there are positions or rights to subscribe to disclose in more than one
class of relevant securities of the offeror or offeree named in 1(c), copy
table 2(a) or (b) (as appropriate) for each additional class of relevant
security.
(a) Interests and short positions in the relevant securities of the offeror or
offeree to which the disclosure relates following the dealing (if any)
Class of relevant security: USD 0.01 common
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 1,471,887 0.25% 668,977 0.11%
(2) Cash-settled derivatives:
353,944 0.06% 1,028,322 0.18%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 500 0.00% 2,100 0.00%
TOTAL: 1,826,331 0.31% 1,699,399 0.29%
Class of relevant security: Convertible Bond US668771AA66
Interests Short Positions
Number (%) Number (%)
(1) Relevant securities owned
and/or controlled: 146,000 0.03% 0 0.00%
(2) Cash-settled derivatives:
0 0.00% 0 0.00%
(3) Stock-settled derivatives (including options)
and agreements to purchase/sell: 0 0.00% 0 0.00%
TOTAL: 146,000 0.03% 0 0.00%
All interests and all short positions should be disclosed.
Details of any open stock-settled derivative positions (including traded
options), or agreements to purchase or sell relevant securities, should be
given on a Supplemental Form 8 (Open Positions).
(b) Rights to subscribe for new securities (including directors’ and other
employee options)
Class of relevant security in relation to which subscription right exists:
Details, including nature of the rights concerned and relevant percentages:
3. DEALINGS (IF ANY) BY THE PERSON MAKING THE DISCLOSURE
Where there have been dealings in more than one class of relevant securities
of the offeror or offeree named in 1(c), copy table 3(a), (b), (c) or (d) (as
appropriate) for each additional class of relevant security dealt in.
The currency of all prices and other monetary amounts should be stated.
(a) Purchases and sales
Class of relevant Purchase/sale Number of Price per unit
security securities
USD 0.01 common Purchase 15 25.2650 USD
USD 0.01 common Purchase 20 25.2450 USD
USD 0.01 common Purchase 100 24.9600 USD
USD 0.01 common Purchase 200 25.2200 USD
USD 0.01 common Purchase 200 25.2750 USD
USD 0.01 common Purchase 361 25.2262 USD
USD 0.01 common Purchase 381 25.1687 USD
USD 0.01 common Purchase 400 25.2550 USD
USD 0.01 common Purchase 401 25.1480 USD
USD 0.01 common Purchase 401 25.2562 USD
USD 0.01 common Purchase 500 25.0840 USD
USD 0.01 common Purchase 500 25.1540 USD
USD 0.01 common Purchase 508 25.2695 USD
USD 0.01 common Purchase 700 25.0714 USD
USD 0.01 common Purchase 700 25.2535 USD
USD 0.01 common Purchase 800 25.0750 USD
USD 0.01 common Purchase 1,187 25.1755 USD
USD 0.01 common Purchase 1,783 25.1400 USD
USD 0.01 common Purchase 1,970 25.1521 USD
USD 0.01 common Purchase 3,510 25.1411 USD
USD 0.01 common Purchase 3,822 25.1879 USD
USD 0.01 common Purchase 4,132 25.1636 USD
USD 0.01 common Purchase 5,812 25.2137 USD
USD 0.01 common Purchase 7,150 25.1829 USD
USD 0.01 common Purchase 13,736 25.2476 USD
USD 0.01 common Purchase 17,021 25.2477 USD
USD 0.01 common Purchase 26,205 25.1089 USD
USD 0.01 common Purchase 29,432 25.1988 USD
USD 0.01 common Purchase 44,803 25.2500 USD
USD 0.01 common Purchase 66,073 25.1781 USD
USD 0.01 common Sale 3 25.1700 USD
USD 0.01 common Sale 4 25.1600 USD
USD 0.01 common Sale 6 25.1200 USD
USD 0.01 common Sale 8 25.1900 USD
USD 0.01 common Sale 9 25.1916 USD
USD 0.01 common Sale 9 25.1355 USD
USD 0.01 common Sale 11 25.1909 USD
USD 0.01 common Sale 16 25.1268 USD
USD 0.01 common Sale 16 25.2350 USD
USD 0.01 common Sale 21 25.1819 USD
USD 0.01 common Sale 21 25.1214 USD
USD 0.01 common Sale 24 25.1883 USD
USD 0.01 common Sale 24 25.2133 USD
USD 0.01 common Sale 32 25.2150 USD
USD 0.01 common Sale 36 25.2450 USD
USD 0.01 common Sale 48 25.2233 USD
USD 0.01 common Sale 106 25.1621 USD
USD 0.01 common Sale 108 25.2214 USD
USD 0.01 common Sale 111 25.1381 USD
USD 0.01 common Sale 197 24.9600 USD
USD 0.01 common Sale 200 25.2200 USD
USD 0.01 common Sale 308 25.1800 USD
USD 0.01 common Sale 400 25.2075 USD
USD 0.01 common Sale 500 25.1540 USD
USD 0.01 common Sale 502 25.2166 USD
USD 0.01 common Sale 580 25.1865 USD
USD 0.01 common Sale 800 25.1412 USD
USD 0.01 common Sale 800 25.1325 USD
USD 0.01 common Sale 846 25.2015 USD
USD 0.01 common Sale 900 25.0527 USD
USD 0.01 common Sale 906 25.1899 USD
USD 0.01 common Sale 925 25.2399 USD
USD 0.01 common Sale 1,000 25.1710 USD
USD 0.01 common Sale 1,100 25.0627 USD
USD 0.01 common Sale 1,187 25.1755 USD
USD 0.01 common Sale 1,255 25.1293 USD
USD 0.01 common Sale 1,500 25.0823 USD
USD 0.01 common Sale 1,639 25.1419 USD
USD 0.01 common Sale 1,800 25.1069 USD
USD 0.01 common Sale 1,820 25.1696 USD
USD 0.01 common Sale 1,900 25.1205 USD
USD 0.01 common Sale 1,920 25.0981 USD
USD 0.01 common Sale 2,200 25.0820 USD
USD 0.01 common Sale 2,537 25.1564 USD
USD 0.01 common Sale 2,943 25.2192 USD
USD 0.01 common Sale 2,998 25.2068 USD
USD 0.01 common Sale 3,227 25.1841 USD
USD 0.01 common Sale 3,417 25.1187 USD
USD 0.01 common Sale 3,910 25.1642 USD
USD 0.01 common Sale 4,402 25.1713 USD
USD 0.01 common Sale 4,512 25.2064 USD
USD 0.01 common Sale 4,903 25.2495 USD
USD 0.01 common Sale 5,265 25.1400 USD
USD 0.01 common Sale 7,459 25.1694 USD
USD 0.01 common Sale 8,520 25.2242 USD
USD 0.01 common Sale 22,526 25.2083 USD
USD 0.01 common Sale 28,111 25.2499 USD
USD 0.01 common Sale 34,131 25.1903 USD
USD 0.01 common Sale 39,577 25.1664 USD
USD 0.01 common Sale 47,548 25.2500 USD
(b) Cash-settled derivative transactions
Class of relevant security Product description Nature of dealing Number of reference securities Price per unit
e.g. CFD e.g. opening/closing a long/short position, increasing/reducing a long/short
position
(c) Stock-settled derivative transactions (including options)
(i) Writing, selling, purchasing or varying
Class of relevant security Product description e.g. call option Writing, purchasing, selling, varying etc. Number of securities to which option relates Exercise price per unit Type Expiry date Option money paid/ received per unit
e.g. American, European etc.
(ii) Exercise
Class of relevant security Product description Exercising/ exercised against Number of securities Exercise price per unit
e.g. call option
(d) Other dealings (including subscribing for new securities)
Class of relevant security Nature of dealing Details Price per unit (if applicable)
e.g. subscription, conversion
4. OTHER INFORMATION
(a) Indemnity and other dealing arrangements
Details of any indemnity or option arrangement, or any agreement or
understanding, formal or informal, relating to relevant securities which may
be an inducement to deal or refrain from dealing entered into by the person
making the disclosure and any party to the offer or any person acting in
concert with a party to the offer:
Irrevocable commitments and letters of intent should not be included. If there
are no such agreements, arrangements or understandings, state “none”
None
(b) Agreements, arrangements or understandings relating to options or
derivatives
Details of any agreement, arrangement or understanding, formal or informal,
between the person making the disclosure and any other person relating to:
(i) the voting rights of any relevant securities under any option; or
(ii) the voting rights or future acquisition or disposal of any relevant
securities to which any derivative is referenced:
If there are no such agreements, arrangements or understandings, state
“none”
None
(c) Attachments
Is a Supplemental Form 8 (Open Positions) attached? YES
Date of disclosure: 8 Oct 2021
Contact name: Large Holdings Regulatory Operations
Telephone number: 020 3134 7213
Public disclosures under Rule 8 of the Code must be made to a Regulatory
Information Service.
The Panel’s Market Surveillance Unit is available for consultation in
relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.
*If the discloser is a natural person, a telephone number does not need to be
included, provided contact information has been provided to the Panel’s
Market Surveillance Unit.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk
(https://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk%2F&esheet=52506120&newsitemid=20211008005406&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=1&md5=e76147c21256ee611a03d141d64d9c5b)
.
SUPPLEMENTAL FORM 8 (OPEN POSITIONS)
DETAILS OF OPEN STOCK-SETTLED DERIVATIVE (INCLUDING OPTION) POSITIONS,
AGREEMENTS TO PURCHASE OR SELL ETC.
Note 5(i) on Rule 8 of the Takeover Code (the “Code”)
1. KEY INFORMATION
Identity of the person whose positions/dealings Barclays PLC.
are being disclosed:
Name of offeror/offeree in relation to whose NORTONLIFELOCK INC
relevant securities this from relates:
2. STOCK-SETTLED DERIVATIVES (INCLUDING OPTIONS)
Class Product Writing, Number Exercise Type Expiry
of description purchasing, of price date
relevant selling, securities per unit
security varying etc to which
option
relates
USD 0.01 common Call Options Purchased 500 27.0000 American 21 Jan 2022
USD 0.01 common Put Options Purchased -2,100 30.0000 American 21 Jan 2022
3. AGREEMENTS TO PURCHASE OR SELL ETC.
Full details should be given so that the nature of the interest or position
can be fully understood:
It is not necessary to provide details on a Supplemental Form (Open Positions)
with regard to cash-settled derivatives.
The currency of all prices and other monetary amounts should be stated.
The Panel’s Market Surveillance Unit is available for consultation in
relation to the Code’s disclosure requirements on +44 (0)20 7638 0129.
The Code can be viewed on the Panel’s website at www.thetakeoverpanel.org.uk
(https://cts.businesswire.com/ct/CT?id=smartlink&url=http%3A%2F%2Fwww.thetakeoverpanel.org.uk%2F&esheet=52506120&newsitemid=20211008005406&lan=en-US&anchor=www.thetakeoverpanel.org.uk&index=2&md5=f4fe782cdd5581776e083e0a754ebd5a)
.
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